Compliance and Operations Risk Test Senior Lead - Vice President

Location: Tampa, FL, United States

Job Family: CCOR Foundation

About the Role

JPMorgan Chase & Co. is a leading global financial services firm with assets of $3.7 trillion and operations worldwide. We operate in over 100 markets, providing innovative solutions to clients across investment banking, consumer and community banking, commercial banking, and asset and wealth management. The Compliance and Operations Risk Test Senior Lead - Vice President role within the CCOR Foundation team in Tampa, FL, offers an exciting opportunity to join our Specialized Testing team focused on trade surveillance. In this pivotal position, you will play a key role in safeguarding the integrity of our trading operations by leading advanced testing initiatives that identify and mitigate compliance and operational risks in a dynamic regulatory environment. As a Vice President on the team, you will oversee the design, execution, and reporting of comprehensive testing programs tailored to trade surveillance activities. This includes evaluating controls for market conduct, insider trading detection, and manipulation risks, while ensuring alignment with JPMorgan Chase's robust CCOR framework. You will collaborate closely with front-office trading desks, compliance officers, and technology partners to develop scenario-based testing models that leverage cutting-edge analytics. Your leadership will drive the identification of control gaps, recommend enhancements to surveillance tools, and support the firm's commitment to ethical standards and regulatory compliance in the financial services industry. This role demands a strategic mindset to navigate complex regulatory landscapes, including SEC, CFTC, and international standards like MAR. You will mentor team members, foster innovation in risk testing practices, and contribute to firm-wide initiatives that strengthen our operational resilience. Based in our state-of-the-art Tampa campus, this position offers the chance to advance your career in a supportive, high-impact environment at one of the world's most admired financial institutions, where your expertise will directly contribute to protecting clients and maintaining market trust.

Key Responsibilities

• Lead the development and execution of specialized testing programs for trade surveillance and operational risk controls within the CCOR Foundation
• Identify and assess potential compliance and operational risks in trading activities, ensuring adherence to JPMorgan Chase policies and regulatory standards
• Collaborate with business lines, compliance, and technology teams to design and implement robust testing scenarios and remediation plans
• Conduct in-depth reviews and gap analyses of surveillance systems to mitigate risks related to market abuse and financial crimes
• Prepare detailed reports and presentations for senior management on testing outcomes, risk exposures, and control enhancements
• Drive continuous improvement initiatives in testing methodologies, leveraging data analytics to enhance surveillance effectiveness
• Mentor and develop junior team members, fostering a culture of risk awareness and compliance excellence
• Monitor emerging regulatory changes and industry best practices to update testing frameworks accordingly
• Facilitate interactions with regulators and internal audit during examinations related to trade surveillance
• Ensure timely resolution of identified issues, tracking metrics to measure program effectiveness

Required Qualifications

• Bachelor's degree in Finance, Business, Risk Management, or a related field; advanced degree preferred
• Minimum of 8-10 years of experience in compliance, risk management, or trade surveillance within the financial services industry
• Proven track record in leading testing programs for operational risk and compliance in a large financial institution
• Strong understanding of regulatory requirements such as Dodd-Frank, MiFID II, and SEC rules applicable to trade surveillance
• Experience with data analytics tools and risk assessment methodologies in a banking environment
• Ability to manage cross-functional teams and collaborate with senior stakeholders in a global organization
• Professional certifications such as CRCM, CAMS, or FRM

Preferred Qualifications

• Experience working at a major financial institution like JP Morgan Chase or similar
• Knowledge of CCOR (Control, Compliance, and Operational Risk) frameworks specific to JPMorgan Chase
• Prior leadership in specialized testing teams focused on market conduct and surveillance
• Familiarity with anti-money laundering (AML) and financial crime prevention programs
• Advanced proficiency in Python or SQL for risk data analysis

Required Skills

• Expertise in trade surveillance and monitoring systems
• Proficiency in risk assessment and control testing methodologies
• Strong analytical skills for data interpretation and trend analysis
• Knowledge of financial regulations and compliance frameworks
• Leadership and team management abilities
• Excellent communication and stakeholder engagement skills
• Proficiency in data analytics tools like SQL, Python, or Tableau
• Project management expertise for complex initiatives
• Attention to detail and problem-solving acumen
• Adaptability to evolving regulatory landscapes
• Familiarity with AML and sanctions screening processes
• Technical writing for reports and policy documentation
• Cross-functional collaboration in a matrix organization
• Strategic thinking for risk mitigation strategies
• Ethical judgment in high-stakes financial environments

Benefits

• Competitive base salary and performance-based annual bonus
• Comprehensive health, dental, and vision insurance plans
• 401(k) retirement savings plan with generous company matching
• Paid time off including vacation, sick days, and parental leave
• Professional development opportunities through JPMorgan Chase's learning programs and tuition reimbursement
• Employee stock purchase plan and financial wellness resources
• On-site fitness centers and wellness programs in Tampa facilities
• Flexible work arrangements and hybrid work options

JP Morgan Chase is an equal opportunity employer.